Simplex Trading Portfolio holdings
Simplex Trading, founded in 2004 and headquartered in Chicago, Illinois, is a technology-driven proprietary trading firm specializing in market-making and liquidity provision, primarily in U.S. equity options and futures options. Leveraging advanced proprietary software and data-driven analysis, the firm optimizes trading strategies and develops innovative solutions to capitalize on financial market opportunities, maintaining a competitive edge through automation and a collaborative team of technologists and traders. With a workforce exceeding 300 and led by CEO Erik Swanson since 2014, Simplex operates with a low-ego, high-intelligence culture, focusing on minimal bureaucracy and rapid execution, while also making strategic venture capital investments in fintech startups. Recognized as a top workplace in Chicago by Built In’s 2025 awards, Simplex continues to evolve, blending cutting-edge technology with a commitment to market efficiency and growth.
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
Alibaba
BABA
|
+$39.9M |
| 2 |
Invesco QQQ Trust
QQQ
|
+$39M |
| 3 |
Mastercard
MA
|
+$31.3M |
| 4 |
Apple
AAPL
|
+$25.3M |
| 5 |
Alphabet (Google) Class C
GOOG
|
+$25.1M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
JPMorgan Chase
JPM
|
+$52.8M |
| 2 |
TSMC
TSM
|
+$43M |
| 3 |
Amazon
AMZN
|
+$24.7M |
| 4 |
iShares Silver Trust
SLV
|
+$24.2M |
| 5 |
Netflix
NFLX
|
+$21.1M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Consumer Discretionary | 0.65% |
| 2 | Technology | 0.37% |
| 3 | Healthcare | 0.33% |
| 4 | Industrials | 0.21% |
| 5 | Communication Services | 0.19% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
4026
C3.ai
AI
$1.38B
| $310K | ﹤0.01% |
+2,237
| New | +$300K |
|
4027
CALL
Lloyds Banking Group
LYG
$87.2B
| $310K | ﹤0.01% |
1,584
+120
| +8% | +$202 |
|
4028
PUT
Choice Hotels
CHH
$5.22B
| $309K | ﹤0.01% |
29
+27
| +1,350% | +$2.63K |
|
|
ABK
4029
PUT
DELISTED
Ambac Financial Group
ABK
| $309K | ﹤0.01% |
201
+101
| +101% | +$155K |
|
4030
Anavex Life Sciences
AVXL
$238M
| $308K | ﹤0.01% |
57,203
-27,194
| -32% | -$143K |
|
4031
CALL
Immunic
IMUX
$182M
| $308K | ﹤0.01% |
20
+6
| +43% | +$1.08K |
|
4032
PUT
Snap-on
SNA
$21.7B
| $308K | ﹤0.01% |
18
+6
| +50% | +$1K |
|
|
EVA
4033
PUT
DELISTED
Enviva Inc.
EVA
| $308K | ﹤0.01% |
68
+53
| +353% | +$2.31K |
|
|
SC
4034
CALL
DELISTED
SANTANDER CONSUMER USA HOLDINGS INC
SC
| $308K | ﹤0.01% |
140
+8
| +6% | +$173 |
|
4035
CALL
BlueLinx
BXC
$465M
| $307K | ﹤0.01% |
105
+98
| +1,400% | +$2.5K |
|
4036
Church & Dwight Co
CHD
$23.7B
| $307K | ﹤0.01% |
+3,521
| New | +$312K |
|
4037
CALL
Frontline
FRO
$8.63B
| $307K | ﹤0.01% |
495
-749
| -60% | -$4.81K |
|
4038
CALL
SunCoke Energy
SXC
$779M
| $307K | ﹤0.01% |
707
+694
| +5,338% | +$2.9K |
|
|
ENZ
4039
DELISTED
Enzo Biochem, Inc.
ENZ
| $307K | ﹤0.01% |
122,039
+103,766
| +568% | +$226K |
|
|
CALA
4040
CALL
DELISTED
Calithera Biosciences, Inc
CALA
| $307K | ﹤0.01% |
31
+21
| +210% | +$1.84K |
|
4041
PUT
EXL Service
EXLS
$4.66B
| $306K | ﹤0.01% |
+180
| New | +$2.85K |
|
4042
CALL
Vail Resorts
MTN
$5.6B
| $306K | ﹤0.01% |
11
-54
| -83% | -$13.9K |
|
4043
PUT
Option Care Health
OPCH
$3.53B
| $306K | ﹤0.01% |
196
+161
| +460% | +$2.4K |
|
4044
CALL
Universal Corp
UVV
$1.36B
| $306K | ﹤0.01% |
63
+61
| +3,050% | +$2.75K |
|
4045
CALL
Alkermes
ALKS
$8.47B
| $305K | ﹤0.01% |
153
-15
| -9% | -$275 |
|
4046
Check Point Software Technologies
CHKP
$14.1B
| $305K | ﹤0.01% |
+2,300
| New | +$281K |
|
|
HOLX
4047
PUT
DELISTED
Hologic
HOLX
| $305K | ﹤0.01% |
42
-184
| -81% | -$13K |
|
4048
KALA BIO
KALA
$12.3M
| $305K | ﹤0.01% |
+18
| New | +$339K |
|
4049
Veritone
VERI
$96.7M
| $305K | ﹤0.01% |
10,729
+6,688
| +166% | +$116K |
|
|
ISEE
4050
PUT
DELISTED
IVERIC bio, Inc. Common Stock
ISEE
| $305K | ﹤0.01% |
442
-140
| -24% | -$896 |
|
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Simplex Trading's Q4 2020 Portfolio in Review
As of Q4 2020, Simplex Trading held 9,568 positions worth $77.2B, up 5% from $73.5B the previous quarter. Its ten largest holdings account for 42% of the portfolio.
Simplex Trading's Q4 2020 filing shows 1,711 new, 3,402 increased, 3,106 reduced and 1,157 closed positions. Its largest new stake was Alibaba: 143,630 shares worth $33.4M. The largest sale was JPMorgan Chase, an estimated $52.8M.
By sector, the portfolio is most concentrated in Consumer Discretionary at 0.65% of assets, up from 0.53% a quarter earlier, followed by Technology and Healthcare.
- Simplex Trading's largest Q4 2020 buy was Alibaba: 143,630 shares worth $33.4M.
- Simplex Trading added most to Invesco QQQ Trust in Q4 2020, an estimated $39M increase.
- Simplex Trading's biggest Q4 2020 reduction was JPMorgan Chase, cutting an estimated $52.8M.
- Simplex Trading fully exited Target in Q4 2020, selling an estimated $14.3M.
- Simplex Trading's ten largest holdings make up 42% of its $77.2B portfolio in Q4 2020.
- Simplex Trading opened 1,711 new positions and closed 1,157 in Q4 2020.
- Simplex Trading's portfolio value rose 5% quarter-over-quarter to $77.2B.
Based on Simplex Trading's 13F filing for Q4 2020, filed 2 Feb 2021.